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Pierce Atwood LLP

Maine Revenue Services Proposes Amended Rule to Adopt Look-Through Apportionment

Pierce Atwood LLP on

On December 6, 2024, Maine Revenue Service (MRS) published a proposed amendment to its apportionment regulation, Rule 801, which would effectively adopt look-through apportionment of certain service receipts, apparently...more

Goodwin

SEC Proposes Alternative to “WORM” Books and Records Retention for Broker-Dealers and Security-Based Swap Entities

Goodwin on

On November 18, 2021, the U.S. Securities and Exchange Commission (“SEC”) proposed amendments to Rules 17a-4 and 18a-6 under the Securities Exchange Act of 1934 related to recordkeeping requirements for broker-dealers and...more

Akin Gump Strauss Hauer & Feld LLP

[Podcast] AG Funds Minutes: SEC Proposes to Modernize Advertising and Cash Solicitation Rules

In this episode, Akin Gump investment management partners Barbara Niederkofler and Jason Daniel discuss the Security and Exchange Commission’s proposed modernization of the advertising and cash solicitation rules under the...more

Katten Muchin Rosenman LLP

SEC Proposes Principles-Based Changes to Investment Adviser Advertising and Solicitation Rules, Seeks Industry Reaction by...

Key Points - SEC proposes significant changes to the Advisers Act “Advertising Rule” and “Cash Solicitation” Rule. - The proposed definition of “Advertisements” expands the types of communications that are considered...more

Cadwalader, Wickersham & Taft LLP

SEC Proposes Significant Amendments to Investment Adviser Advertising Rule

The Securities and Exchange Commission (the “Commission” or the “SEC”), on November 4, approved the publication of a substantial release (the “Release”) proposing significant amendments to the rules under the Investment...more

Proskauer Rose LLP

SEC Releases Proposal to Revise the Advertising and Cash Solicitation Rules for Investment Advisers

Proskauer Rose LLP on

On November 4, 2019, the U.S. Securities and Exchange Commission (the "SEC") issued a release proposing to revise the rules pertaining to investment adviser advertisements and payments to solicitors under the Investment...more

Vedder Price

SEC Proposes Modernizing Adviser Advertising and Cash Solicitation Rules

Vedder Price on

On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed significant amendments to the rules under the Investment Advisers Act of 1940 (Advisers Act) governing investment adviser advertisements and...more

Dorsey & Whitney LLP

SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers

Dorsey & Whitney LLP on

On November 4, 2019, the Securities and Exchange Commission (“SEC”) voted to propose amendments to modernize Rule 206(4)-1, addressing investment adviser advertisements, and Rule 206(4)-3, addressing payments to solicitors,...more

Locke Lord LLP

Update: Illinois Adopts Amendment to Simplify Insurer Record Retention and Destruction Requirements

Locke Lord LLP on

The Illinois Department of Insurance (“IL DOI”) has amended its record disposal and destruction regulation effective May 23, 2016, significantly reducing reporting, book-keeping and retention obligations for Illinois domestic...more

Pillsbury Winthrop Shaw Pittman LLP

China Aims to Strengthen Regulations on Commercial Bribery

Recently, the Legal Affairs Office of the State Council released draft amendments (Draft Amendments) to the Anti-Unfair Competition Law (AUCL) of the People’s Republic of China (PRC) for public comments. The Draft Amendments...more

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